Discussion in ' Professional Trading ' started by Samson77 , Apr 29, Log in or Sign up. I'm curious I have never really looked into this before but I was a stockbroker many years ago and I know that was just a matter of writing an exam. What about becoming a CTA. Can you be independent. Can you market for clients. Does anyone have a link that they can point me too? You can schedule the exam yourself. Truff - Thanks now it makes sense! So where does one go to register for a Series 3?
Pasted from an email, I know someone who emailed to ask: However, you may receive an additional question on the online application asking you for the name of each foreign regulatoryauthority or self regulatory organization that has regulated the applicant during the past five years. Generally, CFTC registrationis required when an individual or entity places futures or commodity options trades at U.
If you plan to exercise discretion over customer accounts as a CTA, NFA membership is required, as well as providing proof of passing the NCFE within the two-year period preceding the date that you file your application for NFA membership.
In order to find a testing location near you, please contact Prometric at or check the NASD's web site at www. The Study Outline is located on our web site at. To prepare to pass the market knowledge portion of the NCFE, you may wish to visit one or more of the web sites of the U.
ORS is a user-friendly web based system that allows you to conveniently register online. Information regarding ORS is available on our web site at www. Registration fees and membership dues are as follows. The system requires you to indicate your bank routing number, account number and an e-mail address where we can send a confirmation of the transfer.
To do this you complete an online enrollment form and receive a temporary password. The online enrollment form is available on our web site at www. Toronto - Thanks very useful info. Seems like you have done this? I thought it was a very good overview from 3 different presenters. They promised to place all of the slides on their site by next week but only 1 set so far, I just checked. The email addresses I am sure are available from IB if you send a request. You must log in or sign up to reply here.
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